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Guidance for Managers on the Management of Sickness Absence
1. Introduction
This guidance has been designed to assist staff with managerial and supervisory
responsibilities to manage the sickness absence of members of staff. The guidance
can be used to:
underpin the existing Cardiff University Sickness Absence Procedure and
Absence Related Capability Procedures;
provide information and sources of further support within the University;
offer practical tips on key areas of good practice in Human Resources
Management.
It is not intended to replace or substitute advice from the Human Resources Division
but will act as a source of information and guidance on many of the day to day issues
you as a manager, will face when managing sickness absence. The guide is an
evolving document and as such if there are issues/concerns you are dealing with on a
regular basis and which are not covered, please contact the Human Resources
Division so that the guide can be expanded and the knowledge and experience
shared with other managers/supervisors.
2. Why managing sickness absence is important for those in
supervisory/management roles?
Absence Management is recognised by the University as one of the many managerial
roles of staff with supervisory responsibilities. The time associated with managing
sickness absence on a daily basis is minimal in relation to the time and cost
associated with managing a staff member through the relevant University procedures
and potential Tribunal procedures. If sickness absence is seen to be managed
effectively then staff are more aware of their responsibilities within the process, and
staff who are often left covering the absence(s) feel confident that the sickness is
genuine and are therefore more content to undertake the additional duties required to
cover the absence.
Managing sickness absence is therefore about creating a climate of confidence to
ensure that staff are aware of the repercussions/issues caused by their absence, of
their responsibilities in this process and the ramifications of a failure to comply with
the relevant procedures. Staff should also feel able to take the time necessary to
recuperate when there is a genuine illness.
It is recognised that managing sickness absence is a more straightforward process
for some categories of staff than others. This is often as a result of the
standardisation of their work pattern and the nature of their work. It is important,
however that a consistent approach is adopted across all categories of staff.
Mangers must adopt a consistent and balanced approach which places the emphasis
on securing the prompt return to work of staff whilst recognising individual
circumstances and improving attendance will be the ultimate aim of all managers.
Consistency is key and protects you, as a manager, against potential claims of unfair
treatment from staff.
3. What are the benefits of managing Sickness Absence?
When Sickness Absence is recorded and managed effectively the following benefits
have been identified for your team, School/Directorate and the University:
a reduction in the number of staff taking unnecessary sick days which will
assist you in maintaining service provision and minimising disruption;
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a reduction in unnecessary overheads e.g. savings on lost salaries and sick
pay costs;
the early identification of trends and patterns of staff absence which allows
you to take the necessary action to rectify the situation at an early stage;
provide you with the necessary information to help support staff to recuperate
who are genuinely ill;
the easy collation of the information required to inform any subsequent
procedures which may be enacted including Occupational Health referrals,
Disciplinary Procedures etc;
valued staff are retained avoiding unnecessary recruitment and training
costs, through the prevention of other staff being continuously overburdened
with additional duties whilst colleagues are absent;
compliance with relevant employment legislation;
a healthy and safe workforce.
4. Managing Absences
4.1 What are the Absence Levels which fall below the University’s recognised
management standards and therefore give cause for concern?
Cardiff University uses the Bradford Factor to assist in the management of absence;
this is an absence management tool that can highlight the disruption that absence
levels have within a School/Directorate. The Bradford Factor uses a formula for
measuring an employee’s irregularity of absence. The Bradford Factor score is
calculated using the following formula:
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S (total number of spells of absence over a set period) x D (total number of days
over the same period)
At Cardiff University we have identified the following trigger point totals over a rolling
12 month period, for consideration of different levels of action:
Informal Action 150 and above
150 points is a trigger for consideration of Informal Action, which would be achieved
or exceeded by the following as examples:
4 absences totaling 10 days = 160 points
5 absences totaling 6 days = 150 points
3 absences totaling 17 days = 153 points
Formal Action 250 and above
250 points is a trigger for consideration for Formal Action, which would be achieved
or exceeded by the following examples:
7 absences totaling 7 days = 343 points
5 absences totaling 10 days = 250 points
4 absences totaling 20 days = 320 points
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The chart below illustrates the Bradford Factor against the University Absence Level
Standards
Bradford Factor Chart
Days Lost Occasions
1 2 3 4 5 6 7 8 9 10
1 1
2 2 8
3 3 12 27
4 4 16 36 64
5 5 20 45 80 125
6 6 24 54 96 150 216
7 7 28 63 112 175 252 343
8 8 32 72 128 200 288 392 512
9 9 36 81 144 225 324 441 576 729
10 10 40 90 160 250 360 490 640 810 1000
11 11 44 99 176 275 396 539 704 891 1100
12 12 48 108 192 300 432 588 768 972 1200
13 13 52 117 208 325 468 637 832 1053 1300
14 14 56 126 224 350 504 686 896 1134 1400
15 15 60 135 240 375 540 735 960 1215 1500
16 16 64 144 256 400 576 784 1024 1296 1600
17 17 68 153 272 425 612 833 1088 1377 1700
18 18 72 162 288 450 648 882 1152 1458 1800
19 19 76 171 304 475 684 931 1216 1539 1900
All numbers in the table above are Bradford Factor scores. These are
calculated by multiplying the number of occasions by itself then finally
the number of days. For example 5 episodes of sickness with a total of
10 days lost would be 5 X 5 X 10 = 250
Bradford Factor Scores which fall below University "cut-off"
points.
Bradford Factor Scores which fall between 150 points and 250 points --
management standard 1
Bradford Factor Scores which fall between 250 points --
management standard 2
It is important that these standards are used only to highlight concern at specific
levels. They certainly do not mean that absence below this level is automatically
acceptable or that there is an entitlement to sickness absence. Staff should not feel
that absence levels below the recognised standards will go unnoticed, neither are the
absence levels the only pattern of absence you may wish to look at.
4.2 What are the absence patterns/trends that I need to be aware of?
There are also a number of general patterns and trends that staff with management /
supervisory responsibilities should be aware of:
absences on a Monday and Friday or the days immediately preceding/following the
staff member’s normal working week;
days preceding/following bank holidays/closure days/ annual leave;
the same days each time;
the same number of days each month;
links to work / social activities;
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groups of staff absent on set days/times;
a member of staff always returning from absence prior to the need for a Medical
Certificate;
a member of staff consistently needing to go home from work as a result of sickness;
an increase in absence levels during school holidays, sporting events, periods of
warm weather etc.
It is essential that the standards/patterns are consistently and fairly applied.
5. Procedures for Managing Absences
5.1 Which procedures should I manage the sickness absence of Academic Staff
under, as defined by Statute XVIII.?
The management of sickness absence for staff covered by Statute is conducted
through the University’s Sickness Absence Procedures and formal capability through
Statute XVIII, Part IV, ‘Removal for Incapacity on Medical Grounds’. For further
advice on managing this staff group please contact the Human Resources Division.
Informal stages will be as those in the University’s Capability Procedures for staff
Grades 1-4.
5.2 Which procedures should I manage the sickness absence of Staff not covered
by Statute?
The management of sickness absence is conducted through the University’s
Sickness Absence Procedures and the Local Absence Related Capability procedures
for staff on Grades 1-4. These guidelines should be read in conjunction with the
above procedures and advice from the Human Resources Division.
5.3 What are the Absence Reporting procedures I should follow?
Unless other arrangements have been put into place within your work area, as soon
as you are informed of a member of staff’s absence you should provide the person
nominated within your School/Directorate with the full name of the individual who is
absent, the start date of absence and reason for the absence.
Upon the member of staff’s return to work, you should meet and conduct a Return to
Work Meeting with the individual and complete a Sickness Absence Notification
(SAN) form if they have not submitted one already. This should be forwarded to the
person nominated within your School/Directorate to record sickness absence along
with any further certificates required.
5.4 How do I conduct a ‘Return to Work’ Meeting?
As indicated in the Sickness Absence procedures, it is the normal expectation that
following a member of staff’s return to work, a return to work meeting should be held.
Return to work meetings help identify short-term absence problems at an early stage.
They provide managers with an opportunity to start a dialogue with staff over
underlying issues. The meetings can be short and as informal as the circumstances
dictate. The format will vary with individual circumstances but in general should be
held in private and cover the following:
Discuss the reasons for the absence and ensure that the member of staff is
fit to return to work;
Check that the necessary certification has been completed and provided;
Discuss how the work was covered in their absence and how the workload
could be reorganised to accommodate any backlog;
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Where appropriate raise any concerns with the member of staff about
absence levels with reference to the University’s absence management
standards;
Where appropriate consider whether the member of staff should be referred
to Occupational Health.
5.5 The Informal Stages
What information do I need?
Schools are able to access a number of reports on absence which will allow them to
identify staff absence levels both on an individual and group basis and will detail the
Bradford Factor scores for staff. These can be produced by the person responsible
for entering sickness absence for your area and can be accessed via Compel and
Business Objects.
If you have concerns about a member of staff’s sickness absence levels or the
pattern of the absences, it is important that you ask the person who is nominated
within your School/Directorate for a report on sickness/absence levels over the period
in question. This report will be able to confirm if your concerns are correct and if it is
an individual or group issue. You should make sure that the member of staff’s
absence record is below standard in comparison to the University’s absence
management standards or there is a pattern of concern. It is important that you treat
staff consistently so if other staff also have a sickness absence level that is of
concern, you must ensure that you undertake the same procedure with them.
The reason why it is important to establish the facts is obviously to provide evidence
of your concerns during your discussions with the member of staff but also it is often
the case that some staff, because of the nature of their role or their geographic
location for instance, are more easily missed than other staff groups.
You will ultimately need to investigate the following:
the employee’s attendance record over the previous rolling twelve month period;
a comparison of records across the work area/University (where appropriate)
whilst complying with the DPA;
identification of specific problems or difficulties caused by the absence;
identification of any obvious work related issues contributing to the absence;
a review of the reasons and periods of the absences to establish if they are
unrelated or not.
Absence relating to maternity or disability are recorded as such and must not be
included when looking at the normal Absence Standards. If staff are part time, their
attendance standard will be pro rata in line with their specific contract. For advice on
this please contact your Human Resources Manager.
5.6 What are the next steps?
In line with Section 2 of the Local Absence Related Capability Procedures you should
write to, or e-mail, the member of staff and invite them to attend an informal meeting
with you to discuss their absence levels. You should state the cause for concern i.e.
the Bradford Factor level, referring to the number of absences in the given period,
and/or recognised patterns etc. A standard letter is attached at Appendix *****which
can be altered to meet your circumstances. Any concerns you may have should be
addressed by contacting the Human Resources Division.
5.7 What should be discussed at this meeting?
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This is an informal discussion and it is important to emphasise to the member of staff
that this is not a disciplinary meeting. You should normally discuss/action the
following:
the exact cause for concern;
identify any factors affecting the absence;
identify the impact of the absence on colleagues and service delivery;
develop an improvement plan outlining the improvements required making
reference to recognised management standards where appropriate;
make a referral to Occupational Health;
give consideration to any reasonable adjustments to working patterns where
appropriate.
5.8 What should be contained in an Action Plan?
An action plan should;
confirm the area for concern;
set out the improvement required;
assign a period of review;
set out the steps you have agreed to take;
set a meeting date for the end of the review period.
You should inform the member of staff that a failure to improve may result in the
relevant University’s formal procedures being invoked. A letter should be sent to the
member of staff following the meeting confirming the outcome of the meeting and the
agreed action plan. A standard letter and proforma for an action plan is attached at
Appendix XXXXX
5.9 What if the member of staff indicates that there is a work related issue?
If there is an underlying work cause for their absence this will need to be addressed.
Where this cannot be addressed the member of staff should be informed of the
reasons why. This will depend very much on the circumstances and may need to be
investigated further under other University procedures. It may require further training
being provided or increased supervisory arrangement being established etc. If you
are concerned about the issue raised you should discuss this with the Human
Resources Division.
5.10 What if the issue is personal?
If there is an underlying personal issue and it is appropriate to do so you may wish to
consider discussing with the member of staff the alteration of their work pattern in line
with the University’s Work Life Balance Scheme which can be found using the
following link: http://www.cardiff.ac.uk/humrs/staffinfo/policyprocedures/index.html . If
you are concerned about the issue raised you should discuss this with the Human
Resources Division and / or make them aware of other services operated by the
University i.e. staff counselling.
5.11 What if the member of staff informs me of an underlying disability?
You will need to inform the member of staff that you will need to obtain further advice
from the Human Resources Division. You should confirm that you would like to refer
them to Occupational Health for further medical advice and assistance and confirm
that you would therefore like to reconvene the review meeting at a later date when
this information is to hand.
You may wish to inform the member of staff that the information provided will be kept
confidential and only disclosed to the Human Resources Division and Occupational
Health.
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Further information in relation to the Disability Discrimination Act and reasonable
adjustments can be found at:
http://www.cardiff.ac.uk/humrs/staffinfo/policyprocedures/dda1995.html
5.12 What if the member of staff indicates they are suffering from stress?
If the member of staff informs you that they are suffering with stress, please refer to
the Cardiff University Stress policy which is available on the Human Resources web
pages at http://www.cardiff.ac.uk/humrs/staffinfo/policyprocedures/index.html and
seek advice from your Human Resources Division and Occupational Health as
appropriate.
5.13 How do I determine a suitable review period?
When setting a review period you should consider the circumstances of each case,
taking into account the time it takes for any agreed actions to be undertaken. The
member of staff should be given a reasonable opportunity to demonstrate an
improvement. The normal review period is a maximum of three months, however
shorter periods may be set. In cases which merit early intervention, action using the
formal procedures, may be taken prior to the specified date of review.
5.14 What records should I keep of the discussions?
You should make a file note of your discussions and provide a copy of the notes to
the member of staff following the meeting. The notes should be reviewed and
amended, if appropriate, by the member of staff and signed as an accurate record of
the discussion held. A copy of the signed note should be issued to the member of
staff, and a copy kept for your own records together with copies of all correspondence
involved. This information is confidential and must be stored in line with the Data
Protection Act 1998 (as amended). Further advice on data protection can be
obtained from the University’s Governance and Compliance Division or at
http://www.cardiff.ac.uk/govrn/cocom/accinf/index.html .
5.15 What preparations should I make prior to the review meeting?
Prior to the review meeting you should again obtain the evidence which highlights
your concerns or demonstrates an improvement. You should write to the member of
staff and invite them to attend the meeting and confirm that the meeting has been
scheduled to discuss their sickness record over the review period. A standard letter
is attached at Appendix ****.
If you have any concerns you should discuss these with the Human Resources
Division prior to the meeting.
5.16 How should I conduct the Meeting?
At the meeting you should discuss the sickness levels over the review period and the
member of staff should be asked if there are any factors which they believe have
impacted upon their absence levels which should be taken into consideration. You
should make a file note of your discussions and provide a copy of the notes to the
member of staff following the meeting.
5.17 Potential Outcomes
5.17.1 What if there is an improvement?
If the member of staff has met the required improvements you should provide positive
feedback; confirm that this concludes the matter; confirm the standards expected;
and that you wish to see this improvement sustained. You should also indicate that if
the absences levels fall below standard within an agreed period this process will be
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repeated and action under the relevant University procedures may be considered.
This should be confirmed in writing to the member of staff. Standard Letter xxxx is
attached at Appendix xxx.
If there is evidence of some improvement but this improvement falls short of the
agreed targets then depending on the level of improvement and the reasons
provided, you may deem it appropriate to extend the review period in line with 5.13
above. The member of staff should be informed of the new review date and target
and this should be confirmed in writing following the meeting, including that a failure
to meet the agreed target may lead to the relevant University procedures being
invoked. A suggested template is provided and attached in Appendix xxxxxx.
5.17.2 What if there is a failure to improve but I am concerned that there is an
underlying medical condition?
It is important that if the member of staff informs you of an underlying medical
condition or you feel that this may be an issue, that you seek advice and guidance
from Human Resources and Occupational Health. The University does not consider
medical capability as a disciplinary matter and will treat such issues with sensitivity,
offering every assistance and taking into account the overall needs of the University
and the member of staff.
In conjunction with the Human Resources Division and Occupational Health you will
need to consider a number of issues including making reasonable adjustments to the
role or working environment, a temporary variation to their contract, redeployment or
in some circumstances ill health retirement.
5.17.3 What if their Absence levels continue to be unsatisfactory?
If there is a failure to meet a satisfactory standard and no satisfactory reason is
provided then you should inform the member of staff of their failure to meet the
standard set; explain why you do not feel an extension to the review period is
applicable in this case; and issue an informal warning which states that a failure to
improve will result in the use of formal procedures.
A further review period and target should be set and the member of staff informed
that this will be monitored in line with the relevant formal capability procedures and
that the next review meeting will form a formal meeting. This should be followed up in
writing to the member of staff. A standard letter is attached at Appendix xxxx.
6. Formal Absence Related Capability Procedures
Once the informal procedures have been completed and the sickness absence
level/concern has not improved, the matter will need to be considered under the
relevant formal procedures and you should contact the Human Resources Division
who will advise and support you throughout the formal procedures.
7. The Management of Short Term Sickness/ Absence
Where every effort has been made to address the problem using the informal
procedures outlined above and where there continues to be concern over the level of
repeated short term absence the relevant formal procedures should be invoked. The
Human Resources Division will support and guide you through the process.
8. The Management of Long Term Sickness / Absence
8.1 Long term sickness is defined by the University as an absence of four continuous
weeks or more.
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8.2 At week five of absence you should refer the member of staff to Occupational Health
using the management referral form available on the Occupational Health website at
http://www.cardiff.ac.uk/osheu/healthcentre/ochealth/index.html. A copy of the referral
should be sent to the relevant Human Resources Manager who will set up a working
file on the case.
The purpose of the medical advice will be to ascertain the expected date if any, of a
return to work and whether the member of staff will be fit to resume their normal
duties or alternative lighter duties on that date. Occupational Health may seek the
member of staff’s consent to obtain access to their health records, in accordance with
the Access to Medical Reports Act 1988. If a member of staff refuses to give such
permission, the member of staff will be informed that the University will make a
decision on the evidence that is available.
The information collected will be used to inform discussions with the member of staff
at any formal meeting as outlined below.
8.3 You should then discuss the case with the Line Manager or Head of School /
Directorate with advice from the relevant Human Resources Manager, will write to the
member of staff inviting them to attend a meeting to discuss their case. This meeting
may be held at the University or at the member of staff’s home as appropriate. The
meeting will consist of the line manager or a nominated representative of the Head of
School/Directorate supported by a representative from Human Resources, the
member of staff and a work colleague or local recognised Trade Union representative
of their choice.
8.4 The relevant capability procedure provides more detail on what can be expected
during the formal stages of any absence.
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FREQUENTLY ASKED QUESTION ON THE MANAGEMENT OF SICKNESS ABSENCE
1. The Notification and Reporting of Sickness /Absence
To whom and how should sickness absence be reported?
You should identify a reporting structure within your area, to ensure that all staff are aware of
who they should report their absence to. It is important to clarify to whom staff would report
their absence when the immediate line manager is not available.
All members of staff within your area should be made aware of their responsibilities, and of
the type of information they need to provide.
Section 4 of the Sickness Absence Procedure outlines the reporting requirements of the
University. A consistent failure to either report absence or to provide the relevant information
may result in disciplinary action being taken against the member of staff.
What paperwork should I complete when a member of my staff is absent?
A SAN form should be completed by yourself and the member of staff who is absent due to
sickness or injury. This form provides the University with all the necessary details concerning
the absence and is required for Statutory Sick Pay (SSP), Occupational Sick Pay (OSP) and
monitoring purposes. The Form can be downloaded from
http://www.cardiff.ac.uk/humrs/staffinfo/the-collection-of-sickness-absence-data.html
In the case of absences over 4 weeks you will need to complete an Occupational Health
Referral Form (OHRF) to refer the member of staff to Occupational Health so that the
University and the member of staff can develop an appropriate rehabilitation plan.
The OHRF can be downloaded from
http://www.cardiff.ac.uk/osheu/healthcentre/ochealth/index.html
Who can I discuss sickness/absence information with?
It is imperative that confidentiality with regards to a member of staff’s health and personal
circumstances is maintained at all times. Information about the state of a member of staff’s
physical or mental health is sensitive personal data under the Data Protection Act 1998.
This information must only be disclosed to the person nominated to record sickness absence
within your School/Directorate. This member of staff should be informed of the member of
staff’s name, first day of sickness, first day of absence and the nature of the illness. This
information will be recorded into COMPEL, the Human Resources Management Information
System.
This information may also be discussed with the Head of School / Director, the Human
Resources Division and Occupational Health.
An inappropriate disclosure of personal sensitive information will be treated in
accordance with the relevant disciplinary procedure.
Where should sickness absence data be stored?
All documentation should be kept in secure locked storage and passed to the person
nominated to record sickness absence data. Specific advice on storage issues can be
obtained from the Governance and Compliance Unit.
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What information should I request from the member of staff?
You should ascertain the nature of the illness, the date or day the illness began (including
Saturday and Sunday), when they expect to return to work and details of any outstanding
work and diary commitments. You should also use this opportunity to clarify the contact
arrangements required and the University’s certification procedures.
If the information is not volunteered it should be prompted. In addition to the standard
information that will always be required there may be additional information specific to the
area/role which is needed. Should this be the case ensure that you gain as much information
as possible.
A member of staff may be taken ill suddenly and therefore may not have all the information to
hand; in these cases you may wish to inform them that you will need to have access to their
email, diary etc and will contact them once you have had an opportunity to appraise yourself
of their work situation. You will need to ask them to provide you with their contact details.
Such access requests will be made in accordance with the INSRV procedure which can be
downloaded from http://www.cf.ac.uk/insrv/aboutus/regulations/index.html
Access to email accounts as well as information on where documents are stored etc will be
important if the absence is prolonged.
You should inform the member of staff that there may be a requirement to contact them again
if information required for the ongoing needs of the section cannot be accessed / found. Such
contact should be kept to a bare minimum as this may not be conducive to the recovery of the
member of staff and handled sensitively.
How often should the member of staff contact me?
For the first eight days you should remind the member of staff to keep in touch with the
School/Directorate on working day one, working day four and working day eight during the
period of absence. You should agree arrangements and set a time when this is most suitable.
This will provide you with an opportunity to find out how the member of staff is recuperating,
how likely they are to return to work on the date they originally anticipated and identify and
discuss issues that have arisen i.e. the location of documents etc.
After eight working days, the normal expectation would be weekly contact but this should be
wherever possible agreed with the member of staff. The exception to this is where a member
of staff has been medically certified for a prolonged period and it is understood that they will
not be returning imminently.
The employee will not tell me why they are off sick what should I do?
Sometimes staff may feel unable to disclose or discuss the nature of their illness if this is of a
particularly sensitive nature in which case, you should advise them of the confidentiality
arrangements and the requirements of the University Sickness Absence Procedures. If they
still refuse to disclose this information, you should advise them to contact the Human
Resources Division.
A member of my staff is always telephoning in and not speaking to the right person or
providing the right information, what should I do?
Upon their return you should arrange to meet them to ascertain the reasons for their
behaviour. You should inform them of the absence notification procedures within your area
and their obligations to inform you, or, in your absence, another nominated member of staff,
of their absence and the appropriate timeframe when this should be done.
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You should inform them of the disruption caused to colleagues when this is not done and ask
them to confirm that they understand their obligations and that this will not happen again. You
should inform them that if they do not improve in this area you will need to seek advice from
the Human Resources Division and consider taking disciplinary action through the appropriate
University procedures.
I have waited two hours past the start of the ‘working day’ and a member of my staff is
absent and does not appear to have informed anyone?
The first thing to do is confirm that the member of staff is not on annual leave, scheduled to
work under alternative arrangements or on University business elsewhere. Once all these
avenues have been exhausted you should check your emails, voice mails and the contact
person nominated to record sickness within your School/Directorate and the Head of
School/Directorate to determine if the member of staff has informed the wrong person of their
absence.
If having pursued all these avenues the member of staff still has not informed the
School/Directorate of the reason for the absence you should contact the Human Resources
Division and inform them. They will contact the member of staff and ask them to contact the
School. If contact is not made immediately they will continue to try throughout the day.
If contact cannot be made during the absence you should see the member of staff
immediately upon their return.
There may be circumstances where contact has not been possible as result of a sudden
medical or domestic emergency and this may therefore be the end of the matter. Dependent
on the circumstances the same process as outlined above for erratic and incorrect notification
should be followed and the matter reviewed informally. Should you wish to pursue the matter
formally you may wish to consider withholding payment for the duration of the unauthorised
absence. Any such option should be discussed with the Human Resources Division who will
take appropriate action – do not take action yourself.
What if a member of staff has moved and their home address is unknown, but is not
making contact with the University or following sickness notification/certification
procedures and I am unable to contact them?
It is the obligation of all employees to inform the University of any changes to their personal
details including moving addresses. You should write to the address on record and contact
the Human Resources Division, you may wish to consider the suspension of sick pay and
invoking disciplinary procedures for failure to comply with the Sickness Absence Policy.
2. Certification of Absence
What forms need to be completed and when?
For each absence
A SAN form must be completed in respect of each sickness absence immediately upon the
member of staff’s return. This form is available to download from the website at
http://www.cardiff.ac.uk/humrs/staffinfo/the-collection-of-sickness-absence-data.html
This form is required for all absences.
Absences of more than seven calendar days,
As well as a SAN form a Fit note or a hospital certificate is required. You must forward these
to the person nominated to record sickness/absence within the School/Directorate who will
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forward them to the Human Resources Division. A further fit note is required immediately the
previous certificate expires. There cannot be any gaps in certification.
If there is gap you must inform the member of staff of the requirement to obtain a certificate to
cover the gap and inform the member of staff that a failure to do so may result in suspension
of their sick pay.
What happens if I believe that the employee’s motivation for returning to work
prematurely (either at the end of full salary or half salary period) is financially driven?
You must inform Human Resources of your concerns and the staff member and an
appointment to see Occupational Health must be arranged. Occupational Health will then
confirm their fitness. Please see guidance on Fit Notes for further information.
Can I request that the member of staff have a Medical Examination?
The University reserves the right to request a medical examination at any time and when
further medical evidence is required.
Usually the University will request that a member of staff shall undergo a Medical Examination
if one period of absence exceeds four weeks or if a number of frequent absences give cause
for concern. The medical is undertaken by an external registered medical practitioner
nominated and paid for by the University. In the event of a difference in medical opinion as to
the member of staff’s fitness for work, the University may request an independent medical
referee who will be chosen jointly.
A member of staff has refused to attend an Occupational Health appointment, what
should I do?
You must inform your Human Resources Manager who will contact the member of staff to
determine a way forward which might include progressing without medical evidence / advice.
3. Issues relating to Annual Leave and Sickness Absence
A member of my staff wants to use their annual leave instead of sickness entitlement?
Members of staff are not under normal circumstances allowed to take annual leave instead of
sickness absence when they are too ill to come to work. Should a staff member wish to use
their annual leave when they have exhausted their sick pay entitlement they should discuss
this with their Line Manager and Human Resources.
What if a member of staff is absent due to sickness before they go on annual leave?
A member of staff who becomes sick immediately before going on a period of annual leave
may take the leave (if fit enough to do so), after informing you that the leave is being taken as
planned.
A member of staff has just informed me that they were taken ill/injured during their
annual leave?
If a member of staff becomes ill during the course of their annual leave, they need to obtain a
fit note to cover the period of sickness. They must inform you as soon as possible that the
sickness will or has interrupted their leave.
They will be entitled to take the balance of the leave entitlement at a later date after returning
to work, normally this should be before the end of the leave year, or such longer period as
may be agreed by the University.
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Bank holidays and closure days may be reclaimed if they are covered by a Fit Note.
If the member of staff does not inform you that they are ill whilst on holiday or fails to provide
a medical certificate they cannot reclaim the leave.
A member of staff is absent as a result of sickness but is going on holiday?
If a member of staff takes a holiday during a period of sickness absence, it will be recorded as
sick leave as long as they provide a letter from their doctor confirming that they are still
unable to work, and confirming that the holiday will be beneficial to their recovery.
Often staff find it hard to understand when a member of staff who is absent from work goes
on holiday or is seen to be undertaking normal activities outside work. It is important to
emphasise in work that you are unable to discuss individual cases but that you proactively
manage all sickness/absence within your area and that you ensure all staff comply with the
relevant University procedures.
Do staff accrue annual leave when they are off sick?
Yes, under the Working Time Regulations 1998 staff are entitled to accrue and take paid
annual leave during periods of sickness absence. Employees will be entitled to take the
balance of the leave entitlement at a later date after returning to work, usually before the end
of that leave year period. With agreement this can be extended but will not go over 2 annual
leave year periods.
Can annual leave be used to facilitate phased returns?
Yes, annual leave may be used to support a phased return which requires rest days and to
prevent the member of staff suffering a financial detriment.
4. Other Health related absences
Are staff entitled to time off for medical and dental appointments?
You should advise staff members that where possible these should take place outside
working hours. If this is impossible, appointments should be scheduled for the beginning or
the end of the day. If an appointment means an absence of a half-day or more, it should be
recorded as a medical appointment on the system.
5. General issues
Can I inform an external funding body of the illness and seek further financial support
to compensate for the absentee?
You are able to inform the funding body that a member of staff is absent and the likely
duration of the absence, but you should not disclose the nature of the illness without the
member of staff’s prior consent.
With regard to additional funding, practices vary among the funding bodies, for further advice
and guidance you should contact the Research and Commercial Development Division.
How long should I hold a post open for while a member of staff is on extended
sickness absence?
There is no definitive answer and this will depend on the member of staff’s circumstances in
each case. It is important to seek advice from Human Resources if you are concerned about
this. The post cannot be refilled by another member of staff on a permanent basis until all
matters are resolved with the substantive post holder. A temporary backfill arrangement
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linked to the duration of the substantive post holder’s absence may however be possible and
in such circumstances a fixed term appointment, specifically linked to the absence, should be
offered in accordance with the Use of Fixed Term Contracts policy.
What if the employee has raised a grievance or there is disciplinary action and is now
absent due to sickness?
Their sickness absence should be managed as for other staff. The grievance or disciplinary
matter should proceed in accordance with the relevant policy. Your Human Resources
Manager will assist you as required.
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